Form State R&D Coordina State R&D Coordina State R&D Coordinator Web Collection

Attachment A

Survey of FY 2006
State R&D Expenditures
State Coordinator Web Pages

These are the Web pages for the State Coordinator section of the
State R&D application. The pages are designed so that the State
Coordinator can:
1) Be introduced to the scope and definitions of the survey
2) Supply contact information for department/agency
respondents
3) Notify Census Bureau when departments/agencies are ready
to begin the survey
4) Monitor department/agency responses
5) Revise state summary data, if necessary
6) Officially submit state summary data

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Welcome!

OMB: 0607-0933
Expires: 10/31/2009

•

The purpose of the State R&D Expenditures Survey is to measure your
state's contributions toward scientific advancement and technological
innovation.

•

This survey is conducted in conjunction with on-going collections of R&D
from private industry, academic institutions, and the Federal
government.

Enter Your Password

________

SUBMIT

•

Results of this survey will be published by the National Science
Foundation at www.nsf.gov/statistics.

•

The U.S. Census Bureau is serving as the data collector for NSF and your
participation is voluntary.
Preview FY 2006 State R&D Expenditures Survey (PDF)

System Requirements
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Pop-up Blockers Disabled

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Java Script Enabled

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Operating System: Windows 95, 98, ME, 2000, XP, or NT

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System Software: Adobe PDF reader

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Browser: Netscape 6.0/Internet Explorer 5.0 or a later version

download Adobe Acrobat

Burden Statement
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a
collection of information unless such collection displays a valid Office of Management and
Budget (OMB) control number. The OMB control number for this survey is displayed at the top
right of the survey "Home" page. The time required to complete these responses is estimated
to be approximately four hours for the state coordinator and one and a half hours for agency
respondents. The burden on state coordinators includes the initial identification of department
and agency contacts, monitoring of department and agency responses, and final review and
verification of state data. The burden on agency respondents includes the initial collection of
data and the entry of data into the Web application. Send comments about this burden
estimate or any other aspect of this collection of information, including suggestions for
reducing burden to: Paperwork Project 0607-0933, U.S. Census Bureau, 4700 Silver Hill Road,
Stop 1500, Washington, DC 20233-1500
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Contact Us
James Berry, Survey Project Manager
U.S. Census Bureau
(301) 763-7317
[email protected]

*Note: On each page, there is a “Menu” for navigation to all other pages, a link to
our contact information, and a “Logout” button.

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Instructions for State Coordinator

As Coordinator for your state, we are asking you to:
•

Identify and provide contact information for departments and agencies in your state that
may have conducted or funded R&D during FY 2006.

•

Work with the selected departments and agencies as they complete the survey.

•

Review, revise, and submit your state's final data after the departments and agencies
have completed the survey.

Below is an overview of the steps you will need to follow to complete
this submission.
Step 1

Provide state coordinator contact information

Step 2

Preview questions, definitions, and examples

Step 3

Provide department/agency contact information

Step 4

Notify department/agency contacts

Step 5

Notify the Census Bureau so that the contacts can begin survey

Step 6

Monitor state progress

Step 7

Review and revise state data

Step 8

Submit final state data

Continue

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Step 1

State Coordinator Contact information

Please provide contact information in case we have questions about
your state's survey responses. (*required fields)

Your Name*

Title*

Agency Name*

Telephone*
(area code)

(phone number)

E-mail*

Save and Continue

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(extension)

Step 2

Preview Questions, Definitions, and Examples

This step provides you with a preview of the survey questions, key terms, and examples
of R&D.
To view a printable copy of these definitions and examples, and to preview the survey
questions, click the link below.
Preview FY 2006 State R&D Expenditures Survey (PDF)
download Adobe Acrobat

A) What does R&D mean?
B) What should be included/excluded in R&D?
C) What makes it R&D?
D) What are sources of R&D funding?
E) What does R&D performer mean?
F) What expenditures should be included/excluded?
G) What are some other survey definitions that may be helpful?
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A. What does R&D mean?
Research and development (R&D) is creative work conducted systematically to:
1) extend scientific knowledge, or
2) devise new or improved applications.
Applications can include materials, products, devices, processes, systems or services.

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B. What should be included/excluded in R&D?
R&D includes, but is not limited to,
activities that produce:
•

Ideas that might be patented

•

Findings that could be published in
academic journals

•

R&D does NOT include:

•

Management information systems

•

Economic / policy / feasibility
studies

New or improved products or applications

•

Program planning and evaluation

•

Strategic planning

•

Market research or analysis

•

Routine data collection /
dissemination

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•

Routine monitoring / testing

•

Technology transfer

•

Technical assistance

•

Consulting services

•

Commercialization

•

General patient services

C. What makes it R&D?
What makes it R&D
R&D is novel.
•

It increases our
knowledge of the
subject

•

It hasn’t been done
before.

R&D creates solutions useful
to others.
•

Others might benefit
from the findings.

•

The findings can be
generalized to other
situations and locations.

The outcome of R&D is
uncertain.
•

The solution isn’t
obvious to an expert in
that field.

When it is R&D
You are testing blood
samples as part of a
research project to find out
the side effects of a new
cancer treatment.

When it is NOT R&D
You are collecting
information from samples
of patients to estimate the
incidence of chicken pox
in the state’s population.
(You are using a standard
approach to estimate the
spread of chicken pox.)

You are testing a pavement
on your highways that is
currently used only at
airports. Other states will
want the results.

You are testing pavement
on your state’s highways
to estimate how much you
need to budget for
pavement replacement
over the next five years.
(Other states will not
benefit from your specific
state information.)

Your research involves
monitoring streams to
determine whether a new
program is increasing the
population of a particular
type of fish.

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You are monitoring
streams as part of plan to
implement long-term
monitoring for a particular
type of fish.
(The monitoring plan has
already been tested and
you are certain of the
quality of the plan.)

D. What are sources of R&D funding?
Sources of R&D funding include:
State

State appropriations and grants, tobacco settlement funds,
state lottery proceeds

Federal

Grants, contracts, and appropriations from the United States
government

All other

Grants
•
•
•
•

and contracts from:
Companies
Nonprofit organizations
Other state governments
City, county, regional, or other local governments

E. What does R&D performer mean?
Internal Performers:
Within your department/agency

R&D performed by your department's/agency's
employees
Services performed by others in support of an internal
R&D project (e.g., lab testing)

External Performers:
Academic institutions

R&D performed for your department/agency by public
or private universities and colleges

Companies and individuals

R&D performed for your department/agency by
companies or individuals under contract for research
projects

Others

R&D performed for your department/agency by:
• Nonprofit organizations
• Other departments/agencies within your
state
• Other state governments
• City, county, regional, or other local
governments
• Federal government

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F. What expenditures should be included/excluded?
Expenditures are amounts paid for current operations and capital outlays.
Respondents to this survey will be asked to report expenditures by performer of R&D. Please
refer below for guidance on the types of expenditures to report for internal and external
performers.
Expenditures for your Department/Agency as Performer
Include:
• Salaries, wages, and benefits
• Supplies
• Purchased services (e.g. lab
testing)
• Travel
• Indirect or overhead costs for R&D
activities
• Equipment

Do NOT include
• Agency and other fiduciary fund
expenditures
• Intra-governmental transactions
• Non-cash payments

Expenditures for Academic Institutions, Companies or Individuals, or Others as
Performers
Include:
• Grants
• Payments for contracted R&D
projects
• Reimbursable costs for R&D
projects

Do NOT include
• Pass-through grants over which you
have no administrative oversight or
control

G. What are some other survey definitions that may be helpful?
Your State
should include your state’s departments, agencies, boards, and commissions.
Fiscal Year
is your state’s fiscal year ending in 2006.
Construction and Acquisition of Facilities Used Primarily for R&D
includes major costs for construction and purchase of buildings to be primarily used as R&D
facilities. Include new construction, major renovations, and purchase of land or buildings.
Basic Research
In order to understand the definition of basic research, it may be helpful to compare it to the
other two components of R&D—applied research and development. Below are definitions and
examples.
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Basic research is conducted primarily to acquire new knowledge without any specific product or
process in mind. (The other two categories of R&D, applied research and development, are not
reported separately in this survey. Applied research is conducted with a specific practical
objective.)
Examples
Basic research

Applied research

Development

You are studying the
properties of blood to
determine what affects
coagulation.

You are conducting research
on how a new chicken pox
vaccine affects blood
coagulation.

You are testing a newly
developed chicken pox
vaccine with various ages
of school children before
implementing it statewide.

You are studying the
properties of molecules
under various heat and
cold conditions.

You are conducting research
on the properties of particular
substances under various
heat and cold conditions with
the objective of finding longer
lasting components for
pavement.

You are testing a newly
developed pavement
under various types of
heat and cold conditions
prior to using it on your
state’s highways.

You are studying the
heart chambers of
various fish species.

You are examining various
levels of a toxic substance to
determine the maximum safe
level for fish in a stream.

You are designing a new
system for monitoring a
stream that will try out the
results of your recent
research in a real world
situation.

Continue

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Step 3

Department/Agency Contact Information

Steps 3a and 3b ask you to provide the contact information for the departments and
agencies in your state that will participate in this survey. The information you provide
will be used by the Census Bureau to contact these departments/agencies with the
instructions for accessing and completing the survey questions online.
•

Step 3a: Provide contact information for each preselected department/agency that we
would like to participate in this survey. Click on the name of each department/agency
listed to complete the contact information.

•

Step 3b: Identify and provide contact information for additional departments/agencies
that you think should also participate in this survey.

All "preselected" and "added" departments/agencies will answer a short screener
question to determine if they had qualifying R&D expenditures for FY 2006.
Please DO NOT add academic institutions to the Departments/Agencies list since they
are surveyed separately.
T

3a. Preselected Agencies:
Department/Agency

Contact Name/Title

E-mail/Phone #

Agriculture, Department of

John Doe/Budget Officer

[email protected]/222.555.1212

Energy, Department of
Environmental Quality,
Department of
Fish and Wildlife,
Department of

3b. Agencies you have added:
Technology Development
Corporation

Add Department/Agency
Previous

Continue

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Step 3a

Update Contact Information

Please provide contact information for the preselected department/agency.
(*required fields)

Name*

Title

Agency name*

E-mail*

Telephone
(area code)

(phone number)

Save and Continue
Cancel

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(extension)

Step 3b

Add New Agency

Please provide contact information for this additional department/agency.
(*required fields)

Name*

Title

Agency name*

E-mail*

Telephone
(area code)

Save and Continue

(phone number)

Delete

Cancel

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(extension)

Step 4

•

Notify Departments/Agencies About Survey

You have provided contact information for the departments/agencies listed in BOLD
below. Please contact these organizations to notify them that they will be asked to
participate in this survey. Suggested e-mail text is provided below.
•

Agriculture, Department of

•

Energy, Department of

•

Environmental Quality, Department of

•

Fish and Wildlife, Department of

•

Technology Development Corporation

•

After you have contacted these departments/agencies, please proceed to Step 5 so that
they can begin the survey.

•

If you have not already done so, you may return to the previous step to complete the
contact information for the remaining departments/agencies.

Suggested email text...
Subject: State R&D Expenditures Survey
Shortly, you will be receiving an email with a password from the U.S. Census Bureau
for the State R&D Survey. Our state has agreed to 1) find out which departments and
agencies have R&D expenditures, and 2) report the amount of R&D expenditures in ten
categories for each department or agency with R&D expenditures for FY 2006.
The Census Bureau and the National Science Foundation (NSF) are conducting the
study jointly. The survey results will help NSF update R&D expenditure information for
the 50 state governments that were last collected in FY 1995. This new information
will be reported by state as well as combined with other information about R&D for our
state’s companies and academic institutions.
It is very important that NSF represent our state accurately, so I am asking you to give
this effort your attention. The deadline for completing the survey is December 29,
2006.
I appreciate your help so that our survey response will be timely.
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Continue

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Step 5

Notify Census Bureau

•

Check the box next to each department/agency that is ready to begin the survey.

•

When you click the “Submit” button, the Census Bureau will send the department/
agency a password and instructions needed to begin the survey.

•

You do not have to “Submit” all departments/agencies listed at this time. You
may return later and complete this step.

•

The next step allows you to track the progress and review answers for each
department/agency.

Contacted

Agriculture, Department of

[

]

Energy, Department of

[

]

Environmental Quality, Department of

[

]

Fish and Wildlife, Department of

[

]

Technology Development Corporation

Submit

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Continue

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Step 6

State Progress

This step allows you to view individual department/agency responses.

• Click on the department/agency name to view individual responses.
• The next step allows you to review and revise the summary, or aggregate,
data for your state.

__ of __ departments and agencies have submitted survey responses for your state.
This includes organizations that reported no R&D for FY 2006.

View Department/Agency Responses

Agency Status

Agriculture, Department of

This column will show one of the following
status flags for each department/agency:

Energy, Department of

Option1 - Has not logged in

Environmental Quality, Department of

Option2 - Logged in, but no data provided

Fish and Wildlife, Department of
Technology Development Corporation

Option3 - Indicated no R&D activity
Option4 - Partially completed survey
Option5 - Survey completed

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Step 7

Review and Revise State Data

Below is a summary of the data reported by departments/agencies in your state. Please
review the data prior to submitting.
•

The “Agency Reported” column is the sum of the expenditures reported by your
state’s departments/agencies.

•

You may use the “Coordinator Revised” column to enter a different value for an
item, if the value in the “Agency Reported” column is not an accurate
representation of your state’s R&D expenditures for that category. If different
than the “Agency Reported” column, the “Coordinator Revised” column will be
considered you state’s response.

•

Please continue to the next step to submit your final data.

Question 1
R&D Expenditures by Performer and Source

Agency
Reported

Coordinator
Revised

Internal Performers – Department/Agency
State Funds

$

0

$

0

Federal Funds

$

0

$

0

Other Funds

$

0

$

0

$

0

$

0

$

0

$

0

$

0

$

0

External Performer - Academic Institutions
All Funds
External Performer - Companies and Individuals
All Funds
External Performer - Others
All Funds

TOTAL R&D EXPENDITURES

$

Question 2 (subset of Question 1 “Total”)
Basic Research Expenditures

0

$

0

$

0

$

0

$

0

$

0

$

0

$

0

Question 3 (subset of Question 1 “Total”)
R&D Expenditures from Federal Funds

Question 4
Expenditures for Construction and Acquisition of
R&D Facilities Used Primarily for R&D
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You may provide comments below.

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Step 8

Submit Final State Data

This step allows you to submit your final state data.
Question 1

Final State Data

R&D Expenditures by Performer and Source
Internal Performers – Department/Agency
State Funds

$

0

Federal Funds

$

0

Other Funds

$

0

$

0

$

0

$

0

External Performer - Academic Institutions
All Funds
External Performer - Companies and Individuals
All Funds
External Performer - Others
All Funds

TOTAL R&D EXPENDITURES

$

Question 2 (subset of Question 1 “Total”)
Basic Research Expenditures

0

$

0

$

0

$

0

Question 3 (subset of Question 1 “Total”)
R&D Expenditures from Federal Funds

Question 4
Expenditures for Construction and Acquisition of Facilities
Used Primarily for R&D

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Submit Final Data

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Survey of FY 2006 State R&D Expenditures
SURVEY RESULTS

You have successfully submitted data. Thank you!
If you need to revise data or have questions regarding the status of your
survey, please contact James Berry at (800) 622-6193 or
[email protected].
Display Submission
(PDF Format)

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reader installed on your machine to view and print the form.

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